SC
Scott L. Cluff
ON INVESTMENT MANAGEMENT CO
Stansbury Park, UT 84074
Some features on this profile are disabled
CRD#: 4014737
SC
Professional summary
Scott Lavell Cluff is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Stansbury Park, Utah and THE O.N. EQUITY SALES COMPANY located in Stansbury Park, Utah.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CLUFF ESTATE;NOT INVESTMENT RELATED; 3866 N ROSE SPRINGS ROAD ERDA UT 84074 ;TRUSTEE FOR PARENTS ESTATE; TRUSTEE; START DATE: 06/15/2010; 10 HOURS PER MONTH (5 HOURS DURING TRADING HOURS); RESPONSIBILITIES AS OUTLINED IN TRUST..DISPOSITION OF ESTATE PER TRUST INSTRUCTIONS. 2.) TRUE NORTH WEALTH MANAGEMENT LLC; NON-INVESTMENT RELATED; 3128 WEST 13640 SOUTH RIVERTON UT 84065; LIFE INSURANCE, HEALTH INSURANCE, DISABILITY, LONG-TERM CARE, FIXED AND EQUITY ANNUITIES; INSURANCE AGENT; START DATE: 11/01/1999; 10 HOURS PER MONTH (10 HOURS DURING SECURITIES TRADING); MARKETING INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Lavell Cluff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 8, 2011 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 5326 No. Cambridge Way, Stansbury Park, UT 84074RIA
CRD#: 105662
Stansbury Park, UT
Current
October 28, 2011 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Stansbury Park, UT
Past
May 10, 2007 - November 7, 2011
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
WEST JORDAN, UT
Past
May 1, 2007 - November 7, 2011
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ERDA, UT
Past
April 2, 2004 - May 3, 2007
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
MIDVALE, UT
Past
March 15, 2004 - May 3, 2007
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MIDVALE, UT
Past
April 12, 2002 - March 16, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
September 23, 1999 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/28/2011)
IAR
California(3/30/2012)
RR
Idaho(10/28/2011)
IAR
Idaho(8/14/2020)
IAR
Texas(4/2/2012)
RR
Utah(10/28/2011)
IAR
Utah(11/8/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Stansbury Park, UT 84074TRUST BUT VERIFY
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